), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities company licensed to undertake securities
COMPLAINT Dimet 010-2019 June 12, 2019 Subject : Notification of investment in IGEN Energy Co., Ltd. and McTRIC Public Company Limited, Partial Business Transfer to the Subsidiary and Amendment of
. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance
Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance of Net Liquid Capital
, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or
Companies Act B.E. 2535 (1992) (as amended) (the “Public Limited Companies Act”) and is regarded as a transaction on disposal of assets by a listed company under the Notification of the Capital Market